Senior Compliance Testing Analyst (US) Position Available In Piscataquis, Maine

Senior Compliance Testing Analyst (US)
remote type
Hybrid
locations
Greenville, South Carolina
Lexington, South Carolina
Mount Laurel, New Jersey
Portland, Maine
time type
Full time
posted on
Posted 19 Days Ago
time left to apply

End Date:

May 2, 2025 (3 days left to apply)
job requisition id
R_1410256

Work Location:

Greenville, South Carolina, United States of America

Hours:

40

Pay Details:

4

• 4 USD
  TD is committed to providing fair and equitable compensation opportunities to all colleagues.

Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate’s skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Compliance

Job Description:

Why Work with Us?
At TD Bank US Compliance, we’re on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you’ll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program

• it’s about creating a culture of compliance that will cascade throughout the organization.

The Ideal Candidate
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can “roll up their sleeves”, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank’s compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

Job Summary:

The Senior Compliance Testing Analyst executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes. May assume leadership of a part of the engagement and have responsibility for completion of a phase of the engagement.

Depth & Scope:

Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters.
Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws
Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners’ compliance with such regulations directly related to the operations of the business
Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines
Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management
Oversees and/or independently performs assigned work from end to end
Executes more complex and/or non-standard assignments as requested

Education & Experience:

Undergraduate degree or equivalent work experience
5+ years of experience

Desired Qualifications:

Prior testing, audit or business operations experience in areas involving regulatory compliance.
Prior experience with execution of testing or audit activities, specifically with regards to findings and issues management.
Detail oriented and well-developed organizational, time management and project management skills.
Strong verbal and written communication skills.
Ability to manage multiple tasks and competing priorities.
Proficiency with Microsoft Office applications.

Customer Accountabilities:

Executes testing engagement work in accordance with established standards to achieve completion within target timelines
Conducts skilled analytical research and analysis as part of the testing engagement and initiatives
Works collaboratively with key Compliance and business line partners throughout the testing engagement
Identifies potential errors following testing standards
Executes validation of findings raised from testing engagements in accordance with established standards
Proactively identifies matters which require additional attention, further escalation, or review

Shareholder Accountabilities:

Prioritizes and manages own workload to deliver quality results and meet assigned timelines
Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility
Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System
Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement
Clearly and concisely documents research as required to understand requirements specific to an engagement
Keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards
Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to the client
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences, and leveraging best practices. May provide coaching to other team members as appropriate
Leads, motivates, and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Physical Requirements:

Never:

0%;

Occasional:

1-33%;

Frequent:

34-66%;

Continuous:

67-100%
Domestic Travel

• Occasional
  International Travel
• Never
  Performing sedentary work
• Continuous
  Performing multiple tasks
• Continuous
  Operating standard office equipment
• Continuous
  Responding quickly to sounds
• Occasional
  Sitting
• Continuous
  Standing
• Occasional
  Walking
• Occasional
  Moving safely in confined spaces
• Occasional
  Lifting/Carrying (under 25 lbs.)
• Occasional
  Lifting/Carrying (over 25 lbs.)
• Never
  Squatting
• Occasional
  Bending
• Occasional
  Kneeling
• Never
  Crawling
• Never
  Climbing
• Never
  Reaching overhead
• Never
  Reaching forward
• Occasional
  Pushing
• Never
  Pulling
• Never
  Twisting
• Never
  Concentrating for long periods of time
• Continuous
  ing common sense to deal with problems involving standardized situations
• Continuous
  Reading, writing and comprehending instructions
• Continuous
  Adding, subtracting, multiplying and dividing
• Continuous
  The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.

They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#LI-AMCBCorporate

Who We Are:

TD is one of the world’s leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing

• and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD

• and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at

USWAPTDO

@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.